Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05253 Mildred Werner Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith Inc. Jon K. Finstrom Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mildred Werner, hereinafter referred to as "Claimant": Wm. Jemison Mims, Jr., Esq., Levin, Papanton

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05252 Ramallah Trading Co., Inc., Claimant v. Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: " ' For Claimant, Ramallah Trading Co., Inc., ("Claimant"), appeared Richard J. Lantinberg, Esq., of the firm Farah, Farah & Abbot, P.A., Jacksonville, FL. Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and J

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05251 Deena Batch Doany, Claimant v. Citigroup Global Markets, Inc. f/k/a. Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Deena Batch Doany ("Claimant") appeared Richard Lantinberg, Esq., of the firm Cooper Ridge & Lantinberg, Jacksonville, FL. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman (collect

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05250 James A. Batch, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant James A. Batch ("Claimant") appeared Richard Lantinberg, Esq., of the firm Cooper, Ridge & Lantinberg, Jacksonville, FL. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman (collectively

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05249 Essa M. Batch, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Essa M. Batch ("Claimant") appeared Richard Lantinberg, Esq., of the firm Cooper Ridge & Lantinberg, Jacksonville, FL, Eddie E. Farah, Esq., of the firm Farah, Farah & Abbott, P.A., Jacksonville, FL, and Wm. Jemison Mims, Jr., Esq., of the

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05248 Robert A. Bateh and Angela F. Bateh, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimants, Robert A. Bateh and Angela F, Batch, ("Claimants"), appeared Richard J. Lantinberg, of the firm Farah, Farah & Abbot, P. A., Jacksonville, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Bar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05247 Albert Bateh, individually and as Trustee Janan Batch, individually and as Trustee Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Albert Bate

In the Matter of the Arbitration Between: Names of Claimants Todd V. Montgomery, Jr. and Debra A. Stefl and Name of Respondent Robert W. Baird & Co., Incorporated Case Number: 04-05232 Hearing Location: Milwaukee, Wisconsin NATURE OF DISPUTE Associated Persons v. Member Firm REPRESENTATION OF PARTIES Todd V. Montgomery, Jr. and Debra A. Stefl ("Claimants") were represented by John F. Hovel, Esq. and Michael Fischer, Esq., Kravit, Hovel,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants McAllister Abbott and Ingrid Abbott Name of the Respondent Harrison Securities, Inc. Case Number: 04-05226 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For McAllister Abbott and Ingrid Abbott, hereinafter collectively referred to as "Claimants": Jeffrey Erez, Esq. and Jeffrey Sonn, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant(s) Case Number: 01-00211 Jeffery E. Forrest Name of the Respondents) Hearing Site: Los Angeles, California Prudential Securities, Inc. Albert Adam REPRESENTATION OF PARTIES Claimant Jeffery E. Forrest, Ojai, California Prudential Securities, Inc. William M. Cassarini, Esq., Prudential Securities, Inc., New York, New York Albert Adam William M